Securities and Exchange Commission June 26, 2020 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meeting; Cancellation

Document Number: 2020-13933

Type: Notice

Date: 2020-06-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13933.html

Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions From Sections 15(c) and 32(a) of the Investment Company Act and Rules 12b-1(b)(2) and 15a-4(b)(2)(ii) Thereunder

Document Number: 2020-13790

Type: Notice

Date: 2020-06-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13790.html

Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule Series 11.600 (Consolidated Audit Trail Compliance Rule)

Document Number: 2020-13773

Type: Notice

Date: 2020-06-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13773.html

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118

Document Number: 2020-13772

Type: Notice

Date: 2020-06-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13772.html

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 16000 Series (Consolidated Audit Trail Compliance Rule)

Document Number: 2020-13771

Type: Notice

Date: 2020-06-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13771.html

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 114 and Equity 7, Section 118(a) of the Fee Schedule

Document Number: 2020-13770

Type: Notice

Date: 2020-06-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13770.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)

Document Number: 2020-13769

Type: Notice

Date: 2020-06-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13769.html

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the LTSE Rule 11.600 Series (Consolidated Audit Trail Compliance Rule)

Document Number: 2020-13767

Type: Notice

Date: 2020-06-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13767.html

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter XVII, Consolidated Audit Trail Compliance Rule

Document Number: 2020-13766

Type: Notice

Date: 2020-06-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13766.html

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Nasdaq Rule 5750 To List and Trade Proxy Portfolio Shares

Document Number: 2020-13764

Type: Notice

Date: 2020-06-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13764.html